Series 53: 3.6.6 Rule G-6—Qualification Is Contingent On Meeting FINRA’s Fidelity Bonding Requirements

Taken from our Series 53 Online Guide

3.6.6 Rule G-6—Qualification is Contingent on Meeting FINRA’s Fidelity Bonding Requirements

Broker-dealers will not be MSRB qualified unless they have acquired insurance protection against fraudulent activities by the broker-dealer’s employees that meets FINRA’s fidelity bonding requirements.

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